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CMT-Level-II – CMT Level II

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Showing 13–15 of 15 questions

Question 13

Kai Wong, CFA, is concerned about the activities of several of his coworkers and feels legal violations are routinely overlooked. According to the Code and Standards, a recommended first step would least likely be to:

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    take legal counsel

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    contact industry regulators

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    provide her supervisor with a copy of the Code and Standards.

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    review the company's policies and procedures for reporting ethical violations.


Question 14

Which of the following is true of moving averages?

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    Moving averages provide the most valid trade signals in sideways markets

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    Moving averages provide the most valid trade signals in trending markets

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    Moving averages always provide more valid trade signals than oscillators

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    Oscillators always provide more valid trade signals than moving averages


Question 15

What steps must analysts take in introducing new methods of technical analysis under the

MTA Code of Ethics?

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    All new techniques must be fully documented even if proprietary methods must be disclosed to do so

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    New procedures must be documented as to procedure and rationale

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    New procedures must be supported by adequate back testing confirmed by at least technician

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    New methods need not be consistent with the accumulated knowledge of the field of technical analysis